Ethics 101Ethics 101 for State Employees for State Employees

Part I of the Code of EthicsPart I of the Code of Ethicswww.ct.gov/ethics 860-566-4472

Common SenseCommon Sense

Copyright 1997 Resources for Ethics and Management

Workshop ObjectivesWorkshop Objectives

• Introduce the Office of State Introduce the Office of State EthicsEthics

• Identify main points of the Code Identify main points of the Code of Ethics of Ethics

• Review resources available to help Review resources available to help you comply with the Codeyou comply with the Code

Office of State Ethics Office of State Ethics (OSE)(OSE)

• Public Act 05-183Public Act 05-183

Created OSECreated OSE

Effective July 1, 2005Effective July 1, 2005

• Citizen’s Ethics Advisory BoardCitizen’s Ethics Advisory Board

9 appointed members9 appointed members

Monthly open meetingsMonthly open meetings

• Connecticut General Statutes, Connecticut General Statutes, Chapter 10, Parts I and IIChapter 10, Parts I and II

Office of State Ethics Office of State Ethics (OSE)(OSE)

• Educate Regulated CommunityEducate Regulated Community

• Provide Public InformationProvide Public Information

• Interpret and Apply the CodesInterpret and Apply the Codes

• Investigate Potential Violations, Investigate Potential Violations, Prosecute ViolationsProsecute Violations

The Big PictureThe Big Picture

• Who is covered by the Codes of Ethics?Who is covered by the Codes of Ethics?

All state officials and employees (except All state officials and employees (except judges)judges)

Certain provisions also apply to Certain provisions also apply to formerformer public officials and employeespublic officials and employees

LobbyistsLobbyists

Certain provisions apply to contractors Certain provisions apply to contractors

Gifts - DefinitionGifts - Definition

• A gift is:A gift is:

Anything of valueAnything of value

Directly and personally receivedDirectly and personally received

UnlessUnless consideration of equal consideration of equal or or greater valuegreater value

Gifts - SourcesGifts - Sources

• Regulated DonorsRegulated Donors Registered lobbyistsRegistered lobbyists

Regulated by, doing or seeking to do business Regulated by, doing or seeking to do business with agency with agency

DAS “pre-qual” listDAS “pre-qual” list

• Non-regulated, given by virtue of your Non-regulated, given by virtue of your positionposition

• Non-regulated, giving not related to state Non-regulated, giving not related to state serviceservice

Gifts – From Regulated DonorsGifts – From Regulated Donors

• Any item of value; < $10 with annual Any item of value; < $10 with annual aggregate < $50aggregate < $50

• Food and beverage; < $50 and person paying is in Food and beverage; < $50 and person paying is in attendanceattendance

• No limit if:No limit if:

Gift from family memberGift from family member

For major life event from registered For major life event from registered lobbyistlobbyist

• Other gift exceptionsOther gift exceptions

Gifts to the State Gifts to the State

• Goods and services provided to a state agency Goods and services provided to a state agency or quasi-public agency for use on state or or quasi-public agency for use on state or quasi-public agency’s property or that support quasi-public agency’s property or that support an event and, and which facilitate state action an event and, and which facilitate state action or functionsor functions

TrainingTraining

• Vendors may provide public officials and Vendors may provide public officials and state employees with training for a state employees with training for a product purchased by a state or quasi-product purchased by a state or quasi-public agency provided such training is public agency provided such training is offered to all customers of that vendoroffered to all customers of that vendor

Conferences/Workshops ProhibitedConferences/Workshops Prohibited

• It is no longer permissible for a state agency to It is no longer permissible for a state agency to accept conference or workshop registration accept conference or workshop registration from regulated donorsfrom regulated donors

(certain costs for conferences or workshops may (certain costs for conferences or workshops may be reimbursed under necessary expenses)be reimbursed under necessary expenses)

Gifts – From Non-regulated DonorsGifts – From Non-regulated Donors

• If given by virtue of one’s state position If given by virtue of one’s state position

Any item of value; < $100 per yearAny item of value; < $100 per year

All gift exceptionsAll gift exceptions

• If not given by virtue of state serviceIf not given by virtue of state service

No limitNo limit

Gift Reporting - Gift Reporting - § 1-84 (o)§ 1-84 (o)

• Gift giving to public officials or state employees must Gift giving to public officials or state employees must be reported within 10 days by providing the gift be reported within 10 days by providing the gift recipient and the head of that individual’s department recipient and the head of that individual’s department or agency a written report stating:or agency a written report stating:• name of the donor;name of the donor;

• description of item(s) given;description of item(s) given;

• value of such item(s); and value of such item(s); and

• Total cumulative value of all items to date to the recipient Total cumulative value of all items to date to the recipient during the calendar yearduring the calendar year

Gifts – Summary ChartGifts – Summary Chart

Donors Gifts Exceptions

Regulated(lobbyists, vendors/contractors)

Don’t Accept § 1-79 (e) 1-17

Non-regulated, giving motivated by your position

Up to $100 from each source per year

§ 1-79 (e) 1-17

Non-regulated, giving not motivated by your position

No ban, no limits N/A

1-84 (p)1-84 (p)

• Gifts between Subordinates and Gifts between Subordinates and Supervisors:Supervisors:

• $99.99 limit per gift$99.99 limit per gift

• No pooling for group gifts No pooling for group gifts exceptexcept when there is a major life eventwhen there is a major life event

Necessary ExpensesNecessary Expenses

• No fees/honorariums for articles or No fees/honorariums for articles or speeches in official capacityspeeches in official capacity

• Necessary ExpensesNecessary Expenses• TravelTravel

• LodgingLodging

• MealsMeals

• Related conference expensesRelated conference expenses

Outside EmploymentOutside Employment

• Precautions:Precautions:

Cannot impair public official’s or state Cannot impair public official’s or state employee’s independence of judgmentemployee’s independence of judgment

No disclosure of confidential informationNo disclosure of confidential information

No use of state time, materials or personnelNo use of state time, materials or personnel

• Translation: employee may not accept outside Translation: employee may not accept outside employment with a business that can benefit employment with a business that can benefit from his or her state actionsfrom his or her state actions

Section 1-84 (d)Section 1-84 (d)

Working for an entity that represents others Working for an entity that represents others before 13 agencies below is not permitted:before 13 agencies below is not permitted:

State Insurance and Risk State Insurance and Risk Management BoardManagement Board

Department of Consumer Department of Consumer Protection: liquor controlProtection: liquor control

Claims CommissionerClaims Commissioner Department of Motor VehiclesDepartment of Motor Vehicles

Office of Health Care AccessOffice of Health Care Access Gaming Policy BoardGaming Policy Board

Insurance DepartmentInsurance Department Division of Special RevenueDivision of Special Revenue

Department of Environmental Department of Environmental ProtectionProtection

Connecticut Real Estate Connecticut Real Estate CommissionCommission

Department of Public Utility Department of Public Utility ControlControl

Connecticut Siting CouncilConnecticut Siting Council

Department of BankingDepartment of Banking

Revolving DoorRevolving Door

• Disclosure of confidential information (lifetime)Disclosure of confidential information (lifetime)

• Ban on representation concerning matters in Ban on representation concerning matters in which public official or state employee which public official or state employee participated (lifetime)participated (lifetime)

__________________________________________________________________

• Representing others before former agency Representing others before former agency (1 yr.)(1 yr.)

• Contracts over $50,000 (1 yr.)Contracts over $50,000 (1 yr.)

Contracting with the StateContracting with the State

• No contracts with the state No contracts with the state valued at > $100valued at > $100

• UnlessUnless awarded through open, awarded through open, public processpublic process

• Prohibition for agency headsProhibition for agency heads

Other ConsiderationsOther Considerations

• P.A. 05-287 (Chapter 10, Part IV)P.A. 05-287 (Chapter 10, Part IV)

Contracts can be terminated based on unethical Contracts can be terminated based on unethical behaviorbehavior

• Public Act 07-1 – An Act Concerning Clean Public Act 07-1 – An Act Concerning Clean Contracting Standards Contracting Standards

• Individual state agencies may have more Individual state agencies may have more restrictive ethics policies restrictive ethics policies

Enforcement Enforcement

Upon a finding that there has been violation Upon a finding that there has been violation of Code or of Code or § 1-101nn, Board may order:§ 1-101nn, Board may order:

1.1. Cease and desist;Cease and desist;2.2. File any report or statement as required; and File any report or statement as required; and 3.3. Pay a civil penalty of no more than $10,000 Pay a civil penalty of no more than $10,000

for each violationfor each violation

Confidentiality provisions and filing a Confidentiality provisions and filing a complaintcomplaint

OSE ResourcesOSE Resources

Web Site: Web Site: www.ct.govwww.ct.gov/ethics/ethics Phone: 860-566-4472Phone: 860-566-4472 E-Mail: E-Mail: ose@ct.govose@ct.gov Educational OutreachEducational Outreach

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